Legal & Regulatory
Reporting Requirements
The Depository Trust Company (DTC)
Participant Financial Responsibility and Operational Capability Notification Requirements
The purpose of this notice is to remind Participants of their responsibilities under DTC's Rules to furnish DTC with certain required information, which includes ongoing financial, operational and regulatory reports. Pursuant to DTC's Rules, those Participants that fail to comply with these requirements may be subject to disciplinary sanctions including, but not limited to, fines.
National Securities Clearing Corporation (NSCC)
Important Reporting Requirements
The purpose of this notice is to remind participants of their responsibilities under NSCC's Rules & Procedures (the "Rules") to furnish NSCC with certain required information, which includes ongoing financial and regulatory reports. Participants are urged to review the attached schedule and incorporate the indicated filing deadlines into their internal procedures.
Fixed Income Clearing Corporation (FICC)
Submission Deadlines for Required Financial Reports, Information, and Other Documentation
Pursuant to the rules of both the Government Securities Division and the Mortgage-Backed Securities Division there is a fine schedule currently in effect for failures to timely submit required financial reports, information, and other documentation to FICC. The applicable fine schedule and submission deadlines are attached hereto. Members are urged to review the attached submission deadlines and incorporate them into their internal procedures in order to avoid the applicable fines.